SEC Rules Content

May 29, 1997 TO: SEC RULES COMMITTEE No. 55-97 STATE LIAISON COMMITTEE No. 14-97 UNIT INVESTMENT TRUST COMMITTEE No. 34-97 SMALL FUNDS COMMITTEE No. 14-97 RE: NASAA ADOPTS STATEMENT OF POLICY RELATING TO UNETHICAL PRACTICES IN CONNECTION WITH INVESTMENT COMPANY SECURITIES; INSTITUTE...

May 29, 1997 TO: SEC RULES COMMITTEE No. 56-97 RE: DRAFT AGENDA FOR JUNE 10 MEETING ______________________________________________________________________________ Attached is a draft agenda for the SEC Rules Committee meeting scheduled for Tuesday, June 10, 1997. The meeting will be...

May 30, 1997 TO: SEC RULES COMMITTEE No. 57-97 DISCLOSURE REFORM TASK FORCE RE: REVISED DRAFT INSTITUTE LETTERS ON SEC DISCLOSURE PROPOSALS; COMMENTS REQUESTED BY JUNE 5 ______________________________________________________________________________ Attached for your review are revised...

* See Memorandum to SEC Rules Members No. 37-97 and Closed-End Investment Company Members No. 15-97, dated May 16, 1997. May 27, 1997 TO: BOARD OF GOVERNORS No. 34-97 CLOSED-END INVESTMENT COMPANY COMMITTEE No. 21-97 SEC RULES COMMITTEE No. 54-97 RE: INSTITUTE AMICUS CURIAE MEMORANDUM...

May 20, 1997 TO: ADVERTISING SUBCOMMITTEE No. 17-97 SEC RULES COMMITTEE No. 53-97 RE: NASDR REQUESTS COMMENT ON POSSIBLE RISK DISCLOSURE RULE ______________________________________________________________________________ NASD Regulation, Inc. has issued a notice requesting comment on...

* See Memorandum to SEC Rules Committee No. 24-97, dated March 3, 1997. May 14, 1997 TO: SEC RULES COMMITTEE No. 52-97 RE: DRAFT INSTITUTE LETTERS ON SEC DISCLOSURE PROPOSALS ______________________________________________________________________________ As you know, the Securities and...

May 13, 1997 TO: BOARD OF GOVERNORS No. 30-97 INVESTMENT COMPANY DIRECTORS No. 3-97 PRIMARY CONTACTS - MEMBER COMPLEX No. 28-97 SEC RULES COMMITTEE No. 51-97 RE: 1997 REGIONAL FORUMS FOR INVESTMENT COMPANY DIRECTORS _____________________________________________________________________...

1 See Memorandum to Advertising Subcommittee No. 15-97, SEC Rules Committee No. 44-97, and Bank Mutual Fund Task Force, dated April 28, 1997. 2 See Memorandum to Bank Investment Management Members No. 8-96, SEC Rules Committee No. 48-96, and Subcommittee on Advertising No. 9-96, dated...

May 7, 1997 TO: CLOSED-END INVESTMENT COMPANY COMMITTEE No. 19-97 INVESTMENT ADVISERS COMMITTEE No. 17-97 SEC RULES COMMITTEE No. 49-97 UNIT INVESTMENT TRUST COMMITTEE No. 28-97 RE: SEC SEMI-ANNUAL REGULATORY AGENDA _____________________________________________________________________...

May 6, 1997 TO: SEC RULES COMMITTEE No. 48-97 RE: NOTICE OF MEETING - JUNE 10TH ______________________________________________________________________________ A meeting of the SEC Rules Committee has been scheduled for Tuesday, June 10, 1997 at the offices of the Investment Company...